Chapter 3

KATARUNGANG PAMBARANGAY LAW

(Sections 399 – 422 of the Local Government Code)

Terms to Ponder:
1. Adjudication is the power of courts or quasi-judicial agencies to decide cases filed before them and falling
within their jurisdiction.
2. Amicable Settlement is an agreement reached during mediation and conciliation proceedings.
3. Arbitration is a process wherein the third party from outside the judicial system is chosen by parties to hear
and decide their dispute.
4. Arbitration Award is the decision reached by either the lupon chairperson or pangkat, as the case may be,
upon prior agreement in writing by the parites to a dispute for the adjudicators to resolve it.
5. Attachment is a provisional remedy in the form of an order issued by a judge before whom the case is
pending by which the property is taken into legal custody as security for satisfaction of a judgment
obtained by the prevailing party, either at the commencement of the action or any time after the
filing of the case before the final judgment.
6. Complainant — plaintiff (one complaining before the Barangay Captain).
7. Complaint is a concise statement of ultimate facts constituting the plaintiff’s cause and causes of action.
8. Conciliation is a process wherein the Pangkat forgoes the power to decide or recommend but assist the
parties to isolate issues and options to reach a settlement by consensus that jointly satisfies their
needs
9. Delivery of Personal Property (Replevin) is provisional remedy by which a judge before whom an action is
pending for the recovery of personal property issues an order for the delivery of such property to the
movant or the party filing the petition upon filing of a bond to guarantee its return or to answer for the
damages.
10.Execution is the process of exacting satisfaction for on or both of the parties through compulsory or
coercive means. It entails the enforcement of the terms of the amicable settlement or arbitration award in
so far as this may enjoin or command any of the parties to perform an act, give something or refrain from
doing some act.
11.Habeas Corpus is a judicial proceeding for the purpose of releasing a person who is illegally
deprived of liberty or restoring rightful custody to the person who has been deprived of.
12.Incompetent means a person who is suffering the penalty of civil interdiction; or who is a hospitalized. leper,
prodigal, deaf and dumb who is unable to communicate; one who is of unsound mind, even though he has a
lucid intervals and a person not being unsound mind but by reason of age, disease, weak mind, and other
similar causes, cannot, without outside aid, take care of himself and mange his property, becoming
thereby an easy prey for deceit and exploitation.
13.Jurisdiction is an authority to hear and decide a case and given by law and cannot be agreed by the parties.
14.Katarungang Barangay (KP) is a system of justice administered at the barangay level for the purpose of
amicable settling disputes through mediation, conciliation or abitration among the family or barangay
without resorting to the courts.
15.Lupong Tagapamayapa (Lupon) is a body organized in every barangay composed of Punong Barangay as the
chairperson and not less than ten (10) and more than twenty from which the members of every Pangkat
shall be chosen.
16.Mediation is a process wherein the Lupon chairperson or Barangay Chairperson assists the disputing
parties to reach a settlement by consensus that jointly satisfies their needs.
17.Minor is a person below eighteen (18) years of age.
18.Next of Kin is an individual who is a relative or a responsible friend with whom the minor or incompetent
lives.
19.Pangkat Tagapagkasundo (Pangkat) is a conciliation panel constituted from the Lupon
membership for every dispute brought before the Lupon consisting of three (3) members
after the Punong Barangay has failed in his mediation efforts.
20.Preliminary injunction is a provisional remedy in the form of an order issued by a judge before whom
the case is pending at any stage before the final judgment requiring a person to refrain from a
particular act.
21.Repudiation is an act of rejecting the validity or refusing to accept the terms and conditions of
agreement on the ground of vitiation of consent by fraud, violence or intimidation.
22.Respondent — defendant (one being charged).
23. Statute of Limitations is the law which bars or does not allow the institution or filing of an action or case
against another after the expiration of the period prescribe d for such action or offense
24.Support Pendente Lite is a provisional remedy in a form of an order issued by a judge before whom the
case is pending granting allowance, dwelling, clothing, education and medical attendance to the
person entitled thereof.
25.Venue is the place where the case is to be heard and decided. This is not fixed by law except in criminal
cases, and can be agreed upon by the parties.

Law Introduction
To give teeth to the Barangay Captains, Presidential Decree 299 which was made into law in September 1973
gave them ample authority and power to adequately discharge their peace – making responsibilities and to act
as auxiliaries of the law. They were considered persons in authority, while the other barangay leaders were
deemed agents of persons in authority. In effect, the barangays through the respective Barangay Captains and
other barangay leaders are involved in law enforcement tasks and also in other aspects of the criminal
justice system.
On August 5, 1974, Presidential Decree 528 was enacted and it laid the groundwork for the
decentralization of the government’s program for the prevention and control of crime and delinquency on the
community level through the active involvement of the barangays and their members. Its rationale was the fact
that crime and delinquency, being problems of the community, must be solved by the community on the local
level with adequate guidance from the proper authorities.
In 1978, Presidential Decree 1508, known as the Katarungang Pambarangay Law, was enacted and
it provided a procedure on amicably settling disputes in the barangay level. It also defined the duties and
responsibilities of barangay officials in dispute settlement, the rules in determining venue, the subject matter
of settlement, among others.
It became a policy of the State in the 1987 Philippine Constitution to ensure the autonomy of local
governments including the barangay. (Sec 25, Art 2 of the Philippine Constitution) To ensure the
compliance of said policy of the State, the Congress was directed to enact a local government code which
shall provide for a more responsive and accountable local government structure instituted through a system of
decentralization with effective mechanisms of recall, initiative, and referendum; allocate among the local
government units their powers, responsibilities and resources; and provide for the qualifications, election,
appointment, and removal, term, salary, powers, and functions and duties of local officials, and all other matters
relating to the organization and operation of local units. (Sec 3, Art 10 of the Philippine Constitution)
As a response of the Congress to comply with what was mandated by the Constitution, it enacted
Republic Act 7160 which was approved on October 10, 1991 and took effect on January 1, 1992. Republic
Act 7160 is the Local Government Code of the Philippines where sections 399 – 422 of it deal with
Katarungang Pambarangay. In other words, some provisions of Presidential Decrees 299, 528, and 1508 were
amended by Sections 399 – 422 of the Local Government Code. The Katarungang Pambarangay exists only in
the Philippines and it features how Filipinos resolve disputes without undergoing the Criminal Justice System.
The said portion of the Local Government Code also shows how a Barangay Chairman has a legislative,
executive and judiciary powers at the same time. He has a legislative power by chairing the Barangay Council,
he has an executive power by executing or enforcing the ordinance passed by the council, and he has a
judicial power by chairing the Lupong Tagapamayapa.
The Katarungang Pambarangay which is also known as Barangay Justice System or Village
Justice, would somehow help out the party litigants from trouble in going in the court of law and at the same
time help the court of law to ease out the delicate task in attending to minor offenses punishable by
imprisonment not exceeding one year or a fine not exceeding five thousand pesos. Said offenses must be
resolved by the community through its barangay chairman or lupon with adequate guidance from the proper
authorities, not strictly adhering to technical procedural processes, but without sacrificing justice. (Class
discussion of Dizon, 2005 & Tradio, 1996).
What is PD 1508?
This refers to an Act Establishing a System of Amicably Settling Disputes at the Barangay
Level.
What is RA 7160?
RA 7160 is otherwise known as the 1991 Local Government Code. This gives barangays the mandate to enforce
peace and order and provide support for the effective enforcement of human rights and justice. Decentralization has
facilitated the recognition of the Katarungang Pambarangay or Barangay Justice System as an alternative venue for
the resolution of disputes. The challenge facing local governments now is to maximize and harness the katarungang
pambarangay as one of the most valuable mechanisms available in administering justice, advancing human rights
protection and resolving and/or mediating conflict at the barangay level through non-adversarial means.
In addition, this law expanded the scope and powers of the Katarungang Pambarangay or the Barangay Justice
System designed not merely to decongest the courts of cases but to address inequalities in access to justice,
particularly experienced by marginalized communities. The barangays, being the basic political unit in the country,
is in the most strategic position to facilitate resolution or mediation of community and family
disputes, alongside its mandate to deliver basic services.

What is Katarungang Pambarangay?

Katarungang Barangay (KP) is a system of justice administered at the barangay
level for the purpose of amicable settling disputes through mediation, conciliation or
abitration among the family or barangay without resorting to the courts. The Katarungang
Pambarangay or Barangay Justice System is a community-based dispute settlement
mechanism that is administered by the basic political unit of the country, the barangay. As
a community based mechanism for dispute resolution, it covers disputes between
members of the same community (generally, same city/municipality) and involves the
Punong Barangay and other members of the communities (the Lupon members) as
intermediaries (mediators, conciliators, and, sometimes, arbitrators).

Take Note: Under the Barangay Justice System, the main strategy for settling disputes is
to provide a venue for the disputing parties to search for a solution that is mutually
acceptable. Hence, the primary role of the system is not to decide disputes and impose a
solution on the parties but to assist the parties in discussing the possible amicable
settlement of their disputes. The Punong Barangay and the community conciliators (Lupon
members) do not act as judges or adjudicators of disputes but as facilitators for the
disputing parties’ discussion of possible solutions. For this reason, the personal
appearance and participation of the disputing parties is necessary, while the non-
appearance of the parties will have corresponding sanctions. Also because of the need for
the disputing parties’ personal participation in the conciliation proceedings, disputes
involving non-natural persons like corporations are not subject to the conciliation
proceedings of the Barangay Justice System.

What is barangay? What is its role? Barangay defined:

The barangay, as the basic political unit, serves as the primary planning and implementing unit of government
policies, plans, programs, projects, and activities in the community, and as a forum wherein the collective views
of the people may be expressed, crystallized, and considered, and where disputes may be amicably settled.
(Sec 384 of the Local Government Code)
The Barangay Chief Officials and Offices are the following:
There shall be in each barangay a Punong Barangay, seven (7) Sangguniang Barangay Members, a Sangguniang
Kabataan Chairman, a Barangay Secretary, and a Barangay Treasurer.
There shall also be in every barangay a Lupong Tagapamayapa. The Sangguniang Barangay may form community
brigades and create such other positions and offices as may be deemed necessary to carry out the purposes of
the barangay government in accordance with the needs of public service subject to the budgetary limitations
and to other provisions of laws. (Art 387 of the Local Government Code)
The Punong Barangay, the seven (7) Sangguniang Barangay Members, the Sangguniang Kabataan Chairman,
the Barangay Secretary, the Barangay Treasurer, and the members of Lupong Tagapamayapa in each barangay
shall be deemed persons in authority in their jurisdiction, while the other barangay officials and members who
may be designated by law or ordinance in charged with the maintenance of public order, protection and security
of life and property, or maintenance of desirable and balance environment, and any barangay member who
comes to the aid of persons in authority, shall be deemed agents of persons in authority. (Art 388 of the Local
Government Code)
Take Note: For purposes of this discussion, the terms Barangay Chairman, Barangay Captain, Lupon Chairman, and
Punong Barangay refer to the same person.
State the manner of electing or appointing officials of Barangay.
The Barangay officials shall be elected or appointed in the following manner:
a. The Barangay Chairman shall be elected in an election called for that purpose; and
Under the Philippine Constitution, the term of office of elective local officials, except barangay officials, which shall be
determined by law, shall be three years and no such official shall serve for more than three consecutive terms.
(Sec 8, Art X of the Philippine Constitution)
The term of office of barangay chairmen and Sangguniang Barangay Members shall be five (5) years. (Par c, Sec
1 of RA 8524)
b. The Barangay Secretary and Barangay Treasurer shall be appointed by the Punong Barangay with
concurrence of the majority of all the Sangguniang Barangay Members. Their appointment shall not be subject to
attestation by the Civil Service Commission; (Sec 394 & 395 of the Local Government Code)
Who is the Barangay Secretary of the lupon? What are his duties?
The Barangay Secretary shall concurrently serve as the secretary of the Lupon. His duties are the following:
a. He shall record the results of the mediation proceedings before the Punong Barangay and shall submit a
report thereon to the proper city or municipal courts;
b. He shall receive and keep the records of proceedings submitted to him by various conciliation panels; and
c. He shall issue certified true copies of any public record in his custody that is not by law otherwise declared
confidential. (Sec 394 of the Local Government Code)
Take Note: The word “concurrently” means at the same time. (Aquino, 2005)

Lupong Tagapamayapa(Lupon) is a body organized in every barangay composed of

Punong Barangay as the chairperson and not less than ten (10) and more than twenty
from which the members of every Pangkat shall be chosen.
Who has the authority to constitute the Lupon?
The Punong Barangay can appoint the lupon members. It is his/her exclusive prerogative
— no need for approval, confirmation or ratification of the sangguniang barangay.
What are the six (6) steps to constitute a Lupon?
STEP 1: Determining the actual number of Lupon Members;
STEP 2: Preparing a notice to constitute the Lupon;
STEP 3: Posting the notice to constitute the Lupon;
STEP 4: Appointment of Lupon Members;
STEP 5: Oath taking of Lupon members;
STEP 6: Posting
When and how the Punong Barangay constitute the Lupon?
A notice to constitute the Lupon, which shall include the names of the proposed members
who have expressed their willingness to serve, shall be prepared by the Barangay
Chairman within the first fifteen (15) days from the start of his term of office.
How many members should the Punong Barangay include in the list?
A minimum of ten (10) and maximum of twenty (20) members.
 Be noted further that the List of appointed Lupon Members shall be posted in three strategic and highly visible
places in the Barangay.

The term of office of Lupon members and the manner of filling up vacancies:
The Lupon members shall hold office until a new lupon is constituted on the third year following his appointment unless
sooner terminated by resignation, transfer of residence, or place of work, or withdrawal of appointment by the Punong Barangay
with concurrence of the majority of all the members of the Lupon. Should vacancy occur in the Lupon for any cause,
the Punong Barangay shall immediately appoint a qualified person who shall hold office only for the unexpired
portion of the term of the predecessor. (Sec 401 of the Local Government Code)
Are the lupon members entitled to some compensation? Do they have benefits due to
them?
The Lupon members shall serve without any compensation. If the barangay has enough funds, we can always give honoraria to Lupon
members who have participated in the resolution of a particular case. On the other hand, under Commission on Higher Education
(CHED) order 62 series of 1997, two daughters or sons of a Lupon member are qualified to become a state scholar in tertiary
education to any state colleges or universities.

State the functions of the Lupong Tagapamayapa:

The functions of the Lupong Tagapamayapa are the following:
A. Exercises administrative supervision over the concillation panels provided under the law;
B. Meets regularly once a month to provide a forum for exchange of ideas among its members and the public on matters relevant to
amicable settlement of disputes, and to enable various conciliation panel members to share with one another their observations and
experiences in effecting speedy resolution of disputes; and
C. Exercises such other powers and perform such other duties and functions as may be prescribed by law or ordinance. (Sec 402 of the Local
Government Code)
What is Pangkat ng Tagapagkasundo. State its composition:
Pangkat ng Tagapagkasundo is a conciliation panel constituted for each dispute brought before the Lupon. It is composed of three (3)
members who shall be chosen by the parties to the dispute from the list of members of the Lupon.
Should the parties fail to agree on the Pangkat membership, the same shall be determined by lots drawn by the Barangay Chairman. (Sec
404 of the Local Government Code)

How shall the Pangkat organize?

The three (3) members constituting the Pangkat shall elect from among themselves the chairman and the secretary. The secretary shall
prepare the minutes of the Pangkat proceedings and submit a copy duly attested to by the chairman to the Lupon Secretary and to the
proper city or municipal courts. He shall issue and caused to be served notices to the parties concerned. (Sec 404 of the Local
Government Code)

How shall the vacancies in the Pangkat be filled up?

Any vacancy in the Pangkat shall be chosen by the parties to a dispute from among the Lupon members. Should the parties fail to agree
on a common choice, the vacancy shall be filled by lot to be drawn by Lupon Chairman. (Sec 405 of the Local Government Code)
What is the character of office of Lupon members?
The Lupon members, while in the performance of their official duties or on occasion thereof, shall be considered persons in authority, as
defined in the Revised Penal Code. (Sec 406 of the Local Government Code)

Take Note: As an effect, if a Lupon member is assaulted or attacked while in performance of official duty or on occasion thereof, the crime
committed is Direct Assault. (Reyes, 2008)

Are all disputes subject to Barangay Conciliation before filing a Complaint in Court or any
government offices?
All disputes are subject to barangay conciliation and prior recourse thereto is a pre – condition before filing a complaint in court
or any government offices, except in the following disputes:
A. Where one party is the government, or any subdivision or instrumentality thereof;
B. Where one party is a public officer or employee and the dispute relates to the performance of his official functions;
C. Where the dispute involves real properties located in different cities and municipalities, unless the parties thereto agree to submit
their difference to amicable settlement by an appropriate Lupon;
D. Any complaint by or against corporations, partnerships or juridical entities, since only individuals shall be parties to barangay
conciliation proceedings either as complainants or respondents;
E. Disputes involving parties who actually reside in barangays of different cities or municipalities, except where such barangay units
adjoin each other and the parties thereto agree to submit their differences to amicable settlement by an appropriate Lupon;
F. Offenses for which the law prescribes a maximum penalty of imprisonment exceeding one (1) year or a fine of over five thousand
pesos (P5,000.00);
G. Offenses where there is no private offended party;
H. Disputes where urgent legal action is necessary to prevent injustice from being committed or further continued, specifically the
following:
• Criminal cases where the accused is under police custody or detention;
• Petitions for habeas corpus by a person illegally deprived of his rightful custody over another or a person illegally
deprived of or on acting in his behalf;
• Actions coupled with provisional remedies such as preliminary injunction, attachment, delivery of personal property and
support during the pendency of the action; and
• Actions which may be barred by the Statute of Limitations.
I. Any class of disputes which the President may determine in the interest of justice or upon the recommendation of the Secretary of
Justice;
J. Where the dispute arises from the Comprehensive Agrarian Reform Law (CARL);
K. Labor disputes or controversies arising from employer – employee relations;
 L. Actions to annul judgment upon a compromise which may be filed directly in court. (Aggranzamendez, 2008 & Secs 408 & 412 of the
Local Government Code)

What are the cases under the Katarungang Pambarangay?

The following are the cases under the Katarungang Pambarangay:
c. Unlawful Use of Means of Publication And Unlawful Utterances (Art. 154);
d. Alarms and Scandals (Art. 155);
e. Using False Certificates (Art. 175);
f. Using Fictitious Names and Concealing True Names (Art. 178);
g. Illegal Use of Uniforms and Insignias (Art. 179);
h. Physical Injuries Inflicted in A Tumultuous Affray (Art. 252);
i. Giving Assistance to Consummated Suicide (Art. 253);
j. Responsibility of Participants in A Duel If Only Physical Injuries Are Inflicted or No Physical Injuries Have Been Inflicted (Art. 260);
k. Less Serious Physical Injuries (Art. 265);
l. Slight Physical Injuries and Maltreatment (Art. 266);
m. Unlawful Arrest (Art. 269);
n. Inducing A Minor to Abandon His/Her Home (Art. 271);
o. Abandonment of A Person in Danger and Abandonment of One’s Own Victim (Art. 275);
p. Abandoning A Minor (A Child Under Seven [7] Years Old) (Art. 276);
q. Abandonment of A Minor by Persons Entrusted With His/Her Custody; Indifference Of Parents (Art. 277);
r. Qualified Tresspass To Dwelling (Without The Use Of Violence And Intimidation). (Art. 280);
s. Other Forms Of Tresspass (Art. 281);
t. Light Threats (Art. 283);
u. Other Light Threats (Art. 285);
v. Grave Coercion (Art. 286);
w. Light Coercion (Art. 287);
x. Other Similar Coercions (Compulsory Purchase of Merchandise and Payment Of Wages By Means Of Tokens). (Art. 288);
y. Formation, Maintenance and Prohibition of Combination of Capital Or Labor Through Violence Or Threats (Art. 289);
z. Discovering Secrets Through Seizure and Correspondence (Art. 290);
aa. Revealing Secrets with Abuse of Authority (Art. 291);
bb. Theft (If the Value of The Property Stolen Does Not Exceed P50.00). (Art. 309);
cc. Qualified Theft (If the Amount Does Not Exceed P500). (Art. 310);
dd. Occupation of Real Property or Usurpation Of Real Rights In Property (Art 312);
ee. Altering Boundaries or Landmarks (Art. 313);
ff. Swindling or Estafa (If the Amount Does Not Exceed P200.00). (Art. 315);
gg. Other Forms of Swindling (Art. 316);
hh. Swindling A Minor (Art. 317);
ii. Other Deceits (Art. 318);
jj. Removal, Sale or Pledge of Mortgaged Property (Art. 319);
ii. Special Cases of Malicious Mischief (If the Value of the Damaged Property Does Not Exceed P1,000.00). (Art
328);
jj. Other Mischiefs (If the Value of The Damaged Property Does Not Exceed P1,000.00). (Art. 329);
kk. Simple Seduction (Art. 338);
ll. Acts of Lasciviousness with The Consent of The Offended Party (Art 339);
mm. Threatening to Publish and Offer to Prevent Such Publication For Compensation (Art. 356);
nn. Prohibiting Publication of Acts Referred to In the Course Of Official Proceedings (Art. 357);
oo. Incriminating Innocent Persons (Art. 363);
pp. Intriguing Against Honor (Art. 364);
qq. Issuing Checks Without Sufficient Funds (Bp 22); And
rr. Fencing of Stolen Properties If the Property Involved Is Not More Than P50.00 (Pd 1612).

What Are the Rules to Be Considered In Determining The Venue In

Settling Disputes? The Rules in Determining Venue in Settling
Disputes are the Following:
kk. The Disputes Between Persons Actually Residing in The Same Barangay Shall Be Brought for Amicable Settlement
Before The Lupon Of Said Barangay;
ll. Those Involving Actual Residents of Different Barangays Within the Same City or Municipality Shall Be Brought in
The Barangay Where the Respondent Or Any Of The Respondents Actually Resides, At The Election Of The
Complainant;
mm. All Disputes Involving Real Property or Any Interest Therein Shall Be Brought in The Barangay Where the Real
Property or The Larger Portion Thereof Is Situated; And
nn. Those Arising At The Workplace Where The Contending Parties Are Employed Or At The Institution Where Such Parties
Are Enrolled For Study Shall Be Brought In The Barangay Where Such Workplace Or Institution Is Located.

Take Note: The respondent must raise the question of improper venue in the mediation proceedings before the Punong
 Barangay; otherwise, the same shall be deemed waived. (Sec 409 of the Local Government Code)
It must be stressed further that “waive” means renounce. (Bloomsburry, 2007).

Sample Case:
Mr. Quiambao resides in Barangay Matatalaib, Tarlac City and Mr. Padua resides in Barangay San Vicente,Tarlac City. For
an unknown reason, Mr.Quiambao punched and kicked Mr. Padua at the Tarlac City Public Market. Mr. Padua was
incapacitated to work for 1 day. After regaining his strength, Mr. Padua filed a complaint before the Barangay Chairman of
Barangay San Vicente wherein Mr. Quiambao was subsequently summoned and participated in amicable settlement until the
Pangkat ng Tagapagkasundo was constituted. After the Pangkat was constituted, Mr. Quiambao realized that there was a
mistake in venue because “letter b” above states that the venue is where the respondent resides. May Mr. Quiambao properly
assert that there is improper venue in the mediation proceedings? No, Mr. Quiambao may not properly assert that there is
improper venue in the mediation proceedings.
This is an example of the statement above that the respondent must raise the question of improper venue in the mediation
proceedings before the Punong Barangay; otherwise, the same shall be deemed waived.

What is the procedure to be followed for settlement of disputes at the barangay level? The procedure to be followed in resolving
disputes in the barangay level are the following:
A. The complainant complains orally or in writing to the Lupon Chairman of the barangay; If the complaint is done orally, it is the duty
of the Lupon Chairman to place it in writing.
B. Within the next working day from receipt of the complaint, the Lupon Chairman shall summon the respondent, with notice to the
complainant, for them and their witnesses to appear before him for mediation;
C. If the Lupon Chairman fails in his mediation efforts within fifteen (15) days from the first meeting of parties, he shall set a date for
the constitution of the Pangkat ng Tagapagkasundo;
D. The Pangkat shall convene not later than three (3) days from its constitution to hear both parties and their witnesses, simplify issues,
and explore all possibilities for amicable settlement;
E. The Pangkat shall arrive at settlement or resolution of the dispute within fifteen (15) days, from the day it convened; otherwise the
Certification to File Action shall be issued. (Sec 410 of the Local Government Code)

Take Note: The term “summon” means invite. (Bloomsbury, 2007)

It must be stressed further that the one complaining before the Barangay Captain is known as complainant and the one being
charged is known as the respondent. (Aggranzamendez, 2008)

Who shall issue Certification to File Action?

The Certification to File Action shall be issued by any of the following:
oo. The Lupon Secretary and attested by the Lupon Chairman, certifying that a confrontation of the parties has taken place and that
a conciliation or settlement has been subsequently repudiated;
pp. The Pangkat Secretary and attested by the Pangkat Chairman, certifying that:
 Confrontation between the parties took place but no conciliation and/or settlement has been reached; or
 No confrontation took place before the Pangkat through no fault of the complainant.
qq. The Punong Barangay, as requested by the proper party on the ground of failure of settlement where the dispute involves
members of the same indigenous cultural community, which shall be settled in accordance with the customs and traditions of that
particular cultural community, or where one or more of the parties mutually agreed to submit their disputes to the indigenous system
of amicable settlement, and there has been no settlement as certified by the Datu or tribal leader or elder to the Punong Barangay of
the place of settlement. (Aggranzamendez, 2008)

If the parties have reached a settlement of their dispute, in what form must the settlement be?
The form of amicable settlement:
The amicable settlement shall be in writing, in a language or dialect known to the parties, signed by them and attested by the Lupon
Chairman or Pangkat Chairman, as the case may be.
When the parties to a dispute do not use the same language or dialect, the settlement shall be written in a language or dialect known to
them. (Sec 411 of the Local Government Code)

The effect of amicable settlement:

If an amicable settlement is not repudiated by any of the parties within ten (10) days from the date thereof, it shall have the effect of
final judgment of a court. (Sec 416 of the Local Government Code)

How may a party to the dispute repudiate the amicable settlement?

Any party to the dispute may repudiate the settlement by filing with the Lupon Chairman, within ten (10) days from the date of
settlement, a statement of repudiation sworn to before him, on the ground that such consent of said party is vitiated by fraud, intimidation,
or violence (FIV). Such repudiation shall be a sufficient basis for the issuance of certification to file action. (Sec 418 of the Local
Government Code)

If the amicable settlement is not repudiated within ten (10) days from the date thereof, how may it be enforced?
If the amicable settlement is not repudiated within ten (10) days from the date thereof, it may be enforced by execution by the Lupon
within six (6) months from the date of the settlement. After the lapse of the six – month period, it may be enforced by action in the
appropriate Municipal Trial Court. (Sec 417 of the Local Government Code)

Define arbitration. How and when is it done?

Arbitration is the process of resolving a dispute or a grievance outside of court system by presenting it to a third person or panel for
decision. (Aggranzamendez, 2008)

How shall parties submit their dispute for arbitration?

The parties may submit their dispute to the Lupon Chairman or Pangkat for arbitration by entering into a written agreement to arbitrate.
The written agreement to arbitrate shall state that the parties shall abide by the arbitration award of the Lupon Chairman or the
Pangkat ng Tagapagkasundo. (Sec 413 of the Local Government Code)

May any of the parties repudiate the agreement to arbitrate?

Yes, any party may repudiate the agreement to arbitrate but he must do so within five (5) days from the date of the
execution of agreement to arbitrate. (Sec 413 of the Local Government Code)

Within what time shall the Lupon Chairman or the Pangkat Chairman make the arbitration award and in what form will it
be?
The Lupon Chairman or the Pangkat Chairman shall make the arbitration award after the expiration of the period for
repudiation of the agreement to arbitrate and within ten (10) days thereafter. The arbitration award shall be in writing and
in the language or dialect known to the parties. (Sec 413 of the Local Government Code)

Can the arbitration award be repudiated?

No. the arbitration award cannot be repudiated. The remedy against an arbitration award is to file with the appropriate
Municipal Trial Court a petition for its nullification within ten (10) days from the date thereof.
If no petition for nullification is filed within the ten – day period, the arbitration award shall have the effect of a final
judgment of a court. (Sec 417 of the Local Government Code)

How shall an arbitration award be enforced?

An arbitration award may be enforced by execution by the Lupon within six (6) months from the date of the settlement.
After the lapse of the six – month period, it may be enforced by action in the appropriate Municipal Trial Court. (Sec 417
of the Local Government Code)

In Katarungang Pambarangay proceedings, may the parties appear with the assistance of
their counsel?
No. By the express provision of law, parties must not be assisted by counsel in pambarangay proceedings. Minors and
incompetents are assisted by next – of – kin who are not lawyers. (Sec 415 of the Local Government Code)

Aside from the stated positions in the Barangay level, there is Sangguniang Barangay, a very important organization. State its
composition and authority. The Sangguniang Barangay, the legislative body of the Barangay, shall be composed of the Punong
Barangay as presiding officer, and the seven (7) regular Sangguniang Barangay members elected at large and Sangguniang Kabataan
chairman, as members. (Sec 390 of the Local Government Code) The term of office of barangay chairmen and Sangguniang
Barangay Members shall be five (5) years. (Par c, Sec 1 of RA 8524)

State the functions of the Sangguniang Barangay:

The Sangguniang Barangay, as the legislative body of the Barangay, shall have functions which include the following:
rr. Enact ordinances as may be necessary to discharge the responsibilities conferred upon it by law or ordinance
and to promote the general welfare of the inhabitants therein;
ss. Enact tax and revenue ordinances, subject to the limitations imposed by the Local Government Code;
tt. Enact annual and supplemental budgets in accordance with the provisions of the Local Government Code;
uu. Provide for the construction and maintenance of barangay facilities and other public works projects chargeable
to the general fund of the barangay or such other funds actually available for the purpose;
Submit to the Sangguniang Panlungsod or Sangguniang Bayan such suggestions or recommendations as it may see fit for
the improvement of the barangay or for the welfare of the inhabitants thereof. (Sec 391 of the Local Governemt Code
Concept and principles of restorative justice
Define Restorative Justice. State briefly the justification of introducing the Restorative Justice.

Restorative justice refers to a principle which requires a process of resolving conflicts with the maximum
involvement of the victim, the offender and the community. It seeks to obtain reparation for the victim; reconciliation of
the offender, the offended and the community; and reassurance to the offender that he/she can be reintegrated into
society. It also enhances public safety by activating the offender, the victim and the community in prevention
strategies.
It embraces a wide range of human emotions – healing, mediation, compassion, forgiveness, mercy, and reconciliation.
(Par q, Sec 4 of RA 9344)

Justification of introducing restorative justice:

The current Philippine criminal justice system, after considering the duties and functions of its different pillars, reveals its defects and they
are the following: a.The victims of a crime may not pursue a criminal case against the perpetrator because of lack of support from
the government especially the person
arrested for the commission of a crime or the accused persons have numerous rights compared to the victims of a crime;
b. The suspects who are actually fall guys may be convicted because they have no money to spend especially in hiring
experienced and skilled lawyers to defend them;
c. The criminal cases may be dismissed because of insufficiency of evidence or technicality even if the accused confessed
that he was the one who committed the crime;
d. The accused may be convicted of a charge and a penalty is imposed by the court but the victim or the society as a whole
is not yet contented of the suffering that the accused may undergo;
e. The trial of a case may take a very period of time notwithstanding the presence of the Speedy Trial Act;
f. Even if a perpetrator is imprisoned or has undergone a community – based treatment, he may not be reformed or rehabilitated;
and
In fact, correction is known as the weakest pillar of the Criminal Justice System because of its failure to reform and rehabilitate offenders.
g. The persons who were imprisoned by reason of the crime they committed may not be effectively reintegrated in the community.
This is because they may always be called ex – convicts and most employers do not hire persons with a criminal record.
As a result of these defects, the victims of a crime may again be victimized by the system to suffer financially and
emotionally especially if the perpetrator is not directed by the court to pay anything to them. Because of this, the restorative
justice was introduced. It is the purpose of restorative justice to settle the issue between the offender and the offended party with
their active participation. The members of the community must also give their active participation for the offended and the offender
to be as much as possible satisfied with the penalty imposed.
It may be true that the restorative justice may be abused by the offender by just paying the offended party with a certain amount of
money but consider the fact that human beings cannot really establish a perfect criminal justice system. It is still believed that the
restorative justice will lessen the numerous problems encountered in our present criminal justice system.
In fact, it may be concluded that the abolition of Republic Act 7659 or the Death Penalty Law has deepened our understanding of
the character and dynamics of the Philippine criminal justice system, particularly its punitive and retributive orientation.
(Tradio, 1996; Pangda, 2007 & www.restorativejustice.org/university.../philippines)
After the abolition of the Death penalty law, Republic Act 9285 was enacted to further strengthen the restorative justice.
Said law is an act to institutionalize the use of an alternative dispute resolution system in the Philippines and to establish the
office for alternative dispute resolution, and for other purposes. (Title of RA 9285)

Take Note: Alternative Dispute Resolution System means any process or procedure used to resolve a dispute or controversy, other
than by adjudication of a presiding judge of a court or an officer of a government agency, in which a neutral third party participates
to assist in the resolution of issues, which includes arbitration, mediation, conciliation, early neutral evaluation, mini – trial, or any
combination thereof. (Par 1, Sec 3 of RA 9285)

Aside form the Alternative Dispute Resolution System, the court may also conduct Judicial Dispute
Resolution. What is the process to be observed in conducting Alternative Dispute Resolution?
The following is the process to be observed in conducting Judicial Dispute Resolution before the court:
a. Before trial, the judge may refer the case to the Mediation Center for conciliation, mediation, or arbitration;
b. If there is no settlement in the Mediation Center, the judge will conduct a judicial dispute resolution; and
c. If the Judicial Dispute Resolution again fails, the judge will conduct trial to determine the guilt of the accused and impose
the proper penalty in case of conviction. (Personal interview with Atty. Tom Mocnangan, November 17, 2010)

One of the justifications of penalty is retribution. What are the distinctions between retributive justice and restorative justice? The following
are the distinctions between retributive justice and restorative justice:
a. Retributive justice is an approach focused on determining the following:
 What law was broken;
 Who broke it; and
 How shall offenders be punished?
Restorative justice, on the other hand, is an approach focused on determining the following:
 What is the harm resulted from the crime;
 What needs to be done to repair the harm; and
 Who is responsible for repairing the harm?
b. Retributive justice considers a crime as an act against the State, while restorative justice considers a crime as an act
against the victim and the community;

c. In retributive justice, the control of crimes lies to the criminal justice system, while in restorative justice, the control of crimes
lies to the community;
d. In retributive justice, the community is represented by the State, while in restorative justice, the community is the facilitator in
the restorative process;
e. Retributive justice focuses on the past by determining the person to be blamed for the crime committed, while restorative
justice focuses o nthe future to determine the matters to be considered so that the crime will not be repeated;
f. Retributive justice focuses on the offender’s past behavior, while restorative justice focuses on the consequences of
offender’s behavior;
g. Retributive justice emphasizes the adversarial relationship, while restorative justice emphasizes dialogue and negotiations;
h. Retributive justice considers crime as an individual act with individual responsibility, while restorative justice considers crime as
both individual and social responsibility; and
i. Retributive justice is based on the principle of lex talliones, while restorative justice is based on forgiveness and reconciliation.

Take Note: “Lex talliones” is a law of equal and direct retribution. In the words of the Hebrew scriptures, Le talliones
means "an eye for an eye, a tooth for a tooth, an arm for an arm, a life for a life." The earliest written code of
laws was the Code of Hammurabi, the most famous of the Old Babylonian, or Amorite, kings of
Mesopotamia. Hammurabi's code of laws is almost entirely based on the principle of equal and direct
retribution; it betrays the origin of law in retributive violence. Since the lex talionis is often the earliest form
that law takes, from it we can conclude that the basic function of law is revenge and retribution. Unlike direct
retribution, however, the law is administered by the State or by individuals that cannot be victims of revenge
in return.
It must be stressed further, however, that lex talliones is the law of proportionality. Hence, if a property worth
100 gold coins is stolen, the victim cannot claim 200 gold coins in return.

The fundamental principles of Restorative Justice:

The fundamental principles of Restorative Justice are the following:
a. Justice requires that all must work to restore those who have been injured like the victims, the community, and even the
offenders;
b. Those most directly involved and affected by crime should have the opportunity to participate fully in the response if they
wish; and
c. The government is responsible for preserving a just public order and the community establishes peace.

The provisions of the Holy Bible which may be bases of restorative justice:
The following are the provisions of the Holy Bible which may be bases of restorative justice:
a. Jesus specifically rejects “an eye for an eye” and tells that if anyone hits you on the right cheek, offer him the other
one as well. (Matthew 5:38 – 39)
b. Jesus called on followers to love their neighbors and enemies too. (Matthew 5:43 – 44)
c. Jesus called for unlimited love and said our forgiveness should be beyond calculation by forgiving others until
seventy times seven. (Matthew 18:21 – 22) (Other sources: Philippine Bible Society, 1987; Bloomsbury, 2007; Reyes, 2008;
Diamante, 2010; Personal interview with Rev. Gloria Mapangdol, October 2, 2010; Classroom Discussion of Corpuz, 2010)
 Chapter 4
Hostage Situation

Hostage Situation -a set of circumstances wherein a suspected law violator is holding a person
captive with the use of force and threat of violence while the police are in close contact with the
suspect and his captive.

Hostage- an individual who has been held by the perpetrators against his/her will

Hostage-taker- an individual or group of persons who hold another person(s) against

his/her/their will as bargaining chips for purposes of demanding certain amount of money, self-
protection, thwarting any police action, or pursuing personal interest or that of the general public.

Barricade Situation- an incident where a person or in this case a hostage taker maintains a position
of cover or concealment and ignores or resist law enforcement personnel, and it is reasonable to
believe the subject is armed with a dangerous or deadly weapon.

Two Basic Concept in a Hostage-Barricade Situation:

1. In a hostage-barricade situation , the hostage-takers have placed themselves willingly in
direct confrontation with the authorities and therefore they must be prepared to deal with them. Since
there is a confrontation, it is safe to conclude that the hostage-takers are willing to discuss the
situation.

2. It is not the intent of the hostage-takers to get violent. They do not take hostage with the
expressed purpose of taking their hostages’ lives. They do it in order to coerce the authorities to
behave in certain ways and eventually to exchange the hostages for something they want.

Terms to Remember:
➢ Courier – the person(s) delivering the concession(s), which, purports to be that being
demanded by the offenders.
➢
➢ Hot debrief – short debriefing conducted by negotiating team prior to turnover to another set of
negotiating team.
➢ Intermediary – any person authorized by the incident/On-Scene Commander to communicate
with the hostage-takers either upon the request of the latter or to facilitate smooth communication
between the designated negotiators and the hostage-taker.
➢ Stockholm Syndrome – hostages express adulation and have a positive feelings toward their
captors that appear irrational light of the danger or risk endured by the victim. (coined by Nils
Bejerot).
➢ Lima syndrome – abductors develop sympathy for their hostages.

 London Syndrome – one or more hostages respond to captors with belligerence and non-
cooperation.
➢ Stronghold – any location or structure, fixed or mobile, where the hostage is being held.
➢ Proof of life-- positive proof that the hostage is alive, obtained from a reliable or verified
source.
➢ Cardinal Rule in Negotiation
o “Commander should not negotiate, negotiator should not command.”
➢ Hostage taker – Negotiator Relationship
 Trust and rapport should be established, but while trust is there, be aware of it;

Categories of Hostage Takers:

1. Criminals- generally more interested in money, escape or personal safety.

2. Mentally-deranged Individuals- they take hostages because of something that may
have provoke them.
3. Terrorists- they tend to be dedicated to their cause and are willing to risk their lives to
ensure its success.
4. Person in Crisis- these are people who take hostages during a period of prolonged
frustration, despair, and problems.
5. Prisoners- these are people who take hostages stemming from their
dissatisfaction and discontent regarding their living condition in prisons.
Personality Types of Hostage Takers:
1. Psychotic disorders- severe mental disorders that cause abnormal thinking and perceptions
1.1 . Paranoid Schizophrenics- they are characterized by persistent false mental perceptions or
beliefs.
1.2 Psychotic Depressives- They experience extreme sadness, hopelessness, feelings of
inadequacy, worthlessness, slow thinking and speech and indecisiveness.

2. Personality Disorders- enduring patterns of inner experience and behavior that deviates from the
expectations of the individual’s culture, which often leads to distress or impairment.

2.1 Anti-Social Personalities- they are repeatedly in conflict with society, thus, are incapable and
are grossly selfish, callous and irresponsible.

2.2 They are unable to respond effectively to emotional, social, intellectual and physical demands.

Motives in hostage-taking:
1. In political terrorism, reasons include showing the public that the government is unable to
protect its own citizen.
2. Hostage-taking guarantees immediate media coverage, and after repeated hostage incidents,
it is the hope of the terrorist that the government might overreact and become excessively
restrictive with its own citizens thus causing civil discontent and grassroots movement to overthrow
thee government.
3. Warring nations seek peace after exchange of hostages as a guarantee of reciprocity.
4. In urban guerilla warfare, hostages are taken with little regard for law and order.
5. Law enforcement officers will most likely encounter hostage incidents that involve either criminals
or the mentally-disturbed.
a) If the hostages are taken in a criminal situation, it is usually because thee criminal
is unable to complete the crime and escapes before the police responds thus making
hostage-taking a spontaneous event.
b) The criminal’s primary reason for taking hostages is to ensure his own safety.
c) The demands are invariably for safe passage and a means of escape in return
for the hostages’ lives.
d) It is also very common for hostage-takers to demand ransom.
5. A husband or wife may take a child hostage in custody battles.
6. A mentally-disturbed person may take hostages in order to right what he believes to be wrong.
7. Whatever the initial reason for hostage-taking, it is clear that the motive for holding hostages may
change.
VI. OPERATIONAL PROCEDURES DURING HOSTAGE TAKING SITUATIONS, AND
HOSTAGE NEGOTIATION

• During a hostage situation, the Hostage-takers can either:

1. Choose martyrdom, kill the hostages, and commit suicide
2. Lessen one’s demands to a more achievable proportions and continue
negotiations
3. Surrender
• The basic policy in hostage taking incidents is “ no concession to hostage takers”
• However the overriding goals for any negotiation are the preservation of life and the
safe release of hostages

Four Courses of Action

1. amass officers and massive fire powers and assault.
2. Use Selective sniper fire
3. Use chemical agents
4. Contain the area and negotiate through a specially trained negotiator.

ICER Method
I- Isolate- keep onlookers beyond the safety lines
C- Contain- contains the hostage-taker’s mobility to the smallest location in the building or
exterior area and deny him the opportunity to observe the presence of police and their activities.
E- Evaluate the situation because the original report may or may not be what the situation
actually is. Evaluation includes:
• Gathering as much cursory information as possible.
• Assessing the threats
• Estimating the location of the command post as well as the number and proposed
positions of back up officers needed to establish a temporary inner perimeter.
R- Report the number and identities of hostage-takers and hostages, along with their clothing
descriptions, precipitating events, size and locations of dangerous zones.

Important Factors to Consider During a Hostage Taking Incident

1. Intelligence gathering
2. motive
3. hostage location
4. setting
5. Formulation of plan

Reason Why the Hostage Taker Surrender:

• Exhaustion and boredom
• Fear of the assault by the police
• Collapse of morale and/or motivation
• Disagreement among the hostage taker
• Feeling of abandonment
• Occurrence of medical problem during the process
• Conviction of futility of persistence
• Decision of fighting another day-court and prison
• Achievement of the goal-publicity
• Development of confidence in the judicial process
• Recognition by the police of the impossibility of demands they made
• Assurance of a peaceful surrender into custody
• Conviction that harm to hostage is unhelpful to their “cause.”
• Guarantee of safe passage of the stronghold
• Expectation of early release or rescue
• Intervention of intermediaries
• Expectation of political asylum
• Direction of group leaders
• Assault by arrangement
• Backstage political agreemen
PNP Guidelines and Procedures in Handling Hostage Situation

a. First Responders (FR)- Personnel responding to the hostage incidents, and are primarily
responsible for minimizing injuries, strategically deploying personnel, gathering intelligence and
initiating a holding action to contain the hostage-taker pending arrival of the SWAT/Crisis
Response Team and the Crisis Negotiation Team.
1) Secure the incident scene and establish perimeter security.
2) Give situation update to concerned TOC and inform the Hostage Negotiation Team
(HNT) for possible deployment.
3) Do not allow unauthorized persons at the incident scene.
4) Gather information about the hostage-taker and hostage(s) from witnesses.
5) Re-route traffic flow (if necessary).
6) Evacuate all persons within the vicinity of the incident scene.
7) Clear areas for use of other responders.
8) Establish Advanced Command Post (ACP).
9) Initiate contact with the hostage-taker through any available means.
10) If the situation becomes volatile, request for deployment of HNT. However, at any
given time, if the hostage-taker is neutralized, the HNT may no longer be necessary.
11) Brief the TL, HNT of the situation and turn-over the conduct of negotiation.
12) Stay at the incident scene to maintain security, crowd and traffic control, preserve
evidence and take custody of witnesses.

b. Incident Commander (IC)-There shall be only one IC holding at least a senior rank and/or one
with experience in hostage/crisis situation or relative training. Until such time that he/she officially
designates a spokesperson, he/she may issue appropriate press statements and continue to
perform the role of the spokesperson.

1) The IC shall, upon assessment of the situation, prepare necessary plans including but not
limited to the following:
a) Emergency Response Plan - depends on the threat posed by the hostage- takers and
need of the HNT and IC.
b) Breakout Plan - possibility of breakout shall be considered immediately upon
drawing up of negotiation strategy. This should be considered as one of the priority plans.
c) Delivery Plan - in case the hostage-takers change plans in the middle of the
execution.
d) Surrender Plan - shall be drawn up in a way that the Hostages’ lives will not be
jeopardized.
e) Hostage Reception/Release - for security reasons, released hostages shall be
contained and isolated.
f) Collection Plan - safety of the police personnel involved is the priority consideration.

2) In handling hostage situations, the IC shall be guided by the following courses of actions:

2.1. Negotiate
(1) Situation must be stabilized first before the start of the negotiation.
(2) All attempts to negotiate must be done by remote means.
(3) Adherence to the basic policy on safety of the hostage shall be paramount.
(4) Do not allow outsiders (non-law enforcement officers) into the negotiation process,
unless their presence is extremely necessary in the solution of the crisis. If so, they shall
be properly advised on the Do’s and Don’ts of the hostage negotiation.
(5) Provide relevant information to the tactical teams.
(6) All communication with the hostage-taker must be secured and protected.
(7) Always adhere to the ethics of negotiation.
2.2. Arrest
(1) Effect the arrest of the hostage-taker when situation warrants.
(2) Restrain the hostage-taker and conduct thorough search on his/her body and the
immediate vicinity of the incident scene.
(3) Inform the arrested person of the circumstances of his/ her arrest, and recite the
Miranda warning, and anti torture warning.
(4) All evidence must be secured and properly documented.
(5) Use reasonable force in arresting the hostage-taker.
(6) Facilitate the transport of the hostage-taker to the nearest police station.
2.3. Tactical assault
(1) It may be resorted to if the hostage-taker poses imminent danger of causing
death or injury to the negotiator or hostage.
(2) When all peaceful means were utilized and failed and the hostage-taker is determined
to become more violent.
(3) When peaceful resolution of the incident becomes impossible.

c. Hostage Negotiation Team (HNT) Negotiators shall be designated by IC. No one shall be
allowed to talk to the hostage-taker without clearance from the Negotiator or IC. The HNT is
directly under the control and supervision of the IC. The HNT consists of the team
leader/coordinator, primary negotiator, secondary negotiator, intelligence liaison/recorder and board
negotiator. The HNT shall:
1) Set-up Negotiation Operation Center (NOC);
2) Initiate contact with the hostage-taker and obtain other information;
3) Give updates to the IC and brief him/her of the current situation;
4) Evaluate the necessity of resorting to other option without compromising the safety
of the hostage(s);
5) Recommend for activation of CMC and deployment of CIMTG as necessary;
6) Facilitate all deliveries, hostage receptions, and release and possible surrender
of hostage-taker; and
7) Attend to all meetings called by the CMC or IC.

d. Assault Team An assault team shall be alerted for deployment in case the negotiation fails.
Members of the assault team shall wear authorized and easily recognizable uniform during the
conduct of the operation.

e. Crowd Control -A crowd control team shall be deployed to manage and control the crowd and
augment the first responders in securing the perimeter.

f. Support Personnel.-Support personnel shall include those in charge of managing traffic,

firefighting, providing medical emergency assistance, crime scene processing and rescue.

g. After the neutralization of the hostage-taker/s and rescue of the hostage/s, the following
processing and debriefing procedures shall be under taken:
1) Clear and secure the crime scene to avoid contamination of evidence;
2) Evacuate the hostages and other injured persons;
3) Conduct CSI;
4) Conduct debriefing on the hostages and participating personnel;
5) Take the sworn statement of witnesses, hostages, hostage-taker, and key
participants in the incident;
6) Initiate case conferences to facilitate filing of cases;
7) Issue press statements;
8) Submit reports to higher headquarters; and
9) Deactivate the CMC and CIMTG.
Tactical Procedures to be Followed in a Hostage Taking Incident

1. Containment of the Hostage Position- also known as operational containment. This

includes but not limited to the following:
• Stabilization of the incident
• Determining the exact location of the hostage-taker
• Physically containing the actions of the smallest area
• Isolation of the scene
• Blocking avenues for escape

2. Communication- establishing contact with the hostage-taker is the first order of business;
this may be initiated by either the hostage takers of the authorities.

3. Visual and Audio Surveillance

• Binoculars
• Telescope
• Portable searching lights
• Night vision devices
• Television camera
• Spike or contact microphone
• Telephone
• Intercoms
4. Assault alternative-refers to the responding to hostage takers once the decision to engage
has been made.

Hostage Negotiation and Recovery

Negotiation Approach- systematic process of starting to work on a task of negotiating and
dealing with hostage-takers, in which the primary consideration are the arrangements of terms
and conditions between the authorities and suspects, which are necessary for the release of the
hostage/s

Negotiation –process in which two or more persons, groups or entities with conflicting
interests voluntarily engage in a dialogue or discussion in order to arrive at an agreement that
will benefit all the parties concerned.

Critical Points to Remember in Negotiation:

• Goal is to reach an agreement that will benefit the concerned individual/groups.
• A good negotiation fosters stronger working relationship between people or groups and
promotes mutual understanding among the concerned individuals/groups, especially after
reaching an agreement.
• All negotiators must be willing to work with those who have conflicting interest.
• Negotiation can only be possible when both parties acknowledge the legitimacy of each
other’s conflicting viewpoints and are willing to work out a solution or agreement in order to
arrive at a win-win solution.
• Negotiators should learn how to give and take in order to achieve their desired
outcomes and to find lasting solutions.
• A good negotiation ends with all players winning or gaining something.
• negotiation involves and exchange of ideas between individuals.
• Every negotiator must have a high stress threshold and knowledge of human
psychology.
• It is a must that before entering any negotiation, the negotiator must have the
background information vital to negotiating with the concerned parties.
• All options must be weighed before agreeing to enter into negotiations.
• All negotiators must have the determination to take calculated risks to avoid manipulation
by the other party.
• When negotiating as a team, always get the commitment of every team member before
entering the meeting. Team members must be involved in every action.
• In all negotiations, always look beyond what the other party is openly demanding.
• All lines of communication between parties must be open.
• Maintain a positive attitude in cases when the negotiation did not work.
• If deceit is to be used, tell lies but don’t get caught. Reevaluate your choices and pursue
another path; and
 • Negotiators must be alert and always ready to spot and resolve tactics such as
deadline and deadlock pressure, as well as lingering concerns and other potential barriers
to the successful execution of a negotiated agreement. If left unattended, these could
lead to a breakdown in the agreement.

Eight Steps in the Negotiation Process:

1. All of the players should be clear with their interests and demands.
2. Identify and acknowledge all conflicts and issues which need to be resolved.
3. Agree on a common goal.
4. Bargain for a better deal
5. trade concessions
6. try to resolve the issues and problems of all those concerned
7. compromise
8. conclude with a formal or written agreement.
9.
Four Negotiation Stages and Critical Tasks:
1. Preliminary Stage
• Create a climate conducive to the positive exchange of views and issues such as
resolving all past disputes/conflicts.
• Establish rapport
2. Opening Stage
• Initial offer must be clearly stated.
• The other party’s opening position or initial demand must be clarified and must be
tested in a logical and relational manner.
3. Exploratory Stage
• Identify the other party’s underlying demands and needs through active listening and
probing through asking questions; and
• Test alternatives currencies of exchange must be tested.
4. Conclusion or the Closing Stage
• Currencies (terms) must be matched to the needs.
• Ensure that what has been agreed upon is enacted or implemented as planned using
the appropriate form such as a contact or a memorandum of agreement.

Eight Sources of Power in a Negotiation Process:

1. Information
2. Time
3. Less need- a party is in a weaker position if he/she has greater need to do business
than the other players in the process.
4. Credibility
5. Willingness to take risks
6. Commitment
7. Expertise
8. Empathy

Hostage Crisis Negotiation- the primary concern for every negotiation should always be for the
safe release of the hostages and safe surrender of the hostage-takers or arrest of the
perpetrators.
The following shall not be provided in exchange for the safe release of the hostages:
• Release of prisoners serving sentences in prison
• Major policy or constitutional changes
• Escape from prosecution of any person
• Capitulation by any authority

Objectives of Negotiation
1. the safe release of the hostage
2. the safe hand over of the perpetrators
3. arrest(apprehension) of the perpetrators
4. Minimize harm to both the hostage and the hostage-takers; and
5. Minimize damage to properties
Additionally, for the purpose of gaining tactical advantage, negotiation should also aim to
achieve the following objectives:
• To gather intelligence from the stronghold
• To gain enough time for the assault preparation
• To establish routine among the perpetrators
• To build rapport with the perpetrators
• To build stability within the stronghold
• To provide time to explain the police activity to the perpetrators and the hostages.

Effects of Buying Time in Hostage Negotiation:

Police Perspective:
Time allows the police to:
➢ Assemble its resources
➢ Draw a detailed plan on its actions
➢ Increase opportunity for external and internal intelligence gathering
However, it will also bring:
➢ Additional problems on the possible arrival of more media practitioners
➢ Increase cost of operations; and
➢ More stress and exhaustion on the part of the police personnel

Hostage Perspective:
For the Hostages, time allows the following :
➢ Increases human needs
➢ Identifies as an individual
➢ Reduces anxiety
➢ Exhaustion
➢ Boredom
➢ Increase opportunity for escape; and
➢ Stockholm Syndrome may develop

Hostage-takers Perspective- time allows and increases rationality among the perpetrators.
Hostage Negotiation Check off List:
1. The details of what has happened
2. The details of the Stronghold
3. The details of the hostages
4. The details of the Hostage-takers

Qualities of Negotiators:

1. Communication
➢ Articulate
➢ Capable of measured delivery and of having a calming influence
➢ Active listening skills and ability to take charge of conversation
➢ Must be able to make people feel confident in opening up in conversation
2. Cognitive Skills
➢ Mentally agile
➢ Logical, rational
➢ Think ahead, understand the value of intelligence and be able to develop strategy
➢ Be flexible and adaptive with the ability to think creatively and laterally
3. Relationship with the People
4. Professional Competence
5. Personal Qualities
➢ Good emotional control
➢ Undeterred by failure
➢ Confident and self- assured but without arrogance and self-importance
➢ Must be honest with himself/herself, confronting feelings and accepting
responsibility and must be physically and mentally fit.
 Duties and Responsibilities of Negotiators:
1. Ensure that the policy on saving lives of the hostages and hostage takers shall be adhered
2. report to the Incident/ On-scene Commander
3. Come up with a negotiation strategy
4. Communicate with perpetrator or hostages
5. Coordinate to the SWAT Commander
6. Record all messages, information, statements
7. development and dissemination of intelligence information gained through negotiations
8. ensure the safety of all negotiators
9. maintain good physical condition and develop an effective relief system in case the activity
will be extended for more than 24 hours
10. conduct of hot debriefings

Crisis Negotiating Team- under the control and supervision of the On-Scene Commander or
Incident Commander. It is one of the elements of the Critical Incident Management Group.

➢ Incident/On-Scene Commander
➢ Negotiation Team Leader/Coordinator- an experienced and competent negotiator
with sound operational skills.
➢ Primary Negotiator- principal negotiator.
➢ Secondary Negotiator- gives direct support to the Primary Negotiator in interpreting
and implementing the Incident/On-Scene Commander’s overall strategy through
negotiation tactics.
➢ Intelligence/Recorder Negotiator- provides a communication link between the
negotiators and the remainder of the police command structure.
➢ Board Negotiator- it is the “board person” who maintains a visual display of all
information relevant to the negotiations.

Hostage-taker’s demands

Demands can be threats to negotiation process or it may be an opportunity for the negotiator.

➢ Should be handled with care

➢ Always think tactically
➢ Seek reciprocation
➢ Sow seeds of doubt- it should impress upon the hostage-takers that even if they are in
the shoes of the police personnel they will not give in to these demands.
➢ Seek precise details of these demands
➢ In case of multiple demands, deal with the easy ones first.

Types of Demands:
1. Negotiable Demands
➢ Food
➢ Cigarettes
➢ Drinks
➢ Alcohol
➢ Transportation
➢ Media coverage
➢ Freedom

2. Non- negotiable Demands

 Weapons/ammunition
➢ Drugs
➢ Release of prisoners
➢ Exchange of hostages

Guidelines in handling demands

➢ Do not seek or ask for them
➢ Do not ignore them. List them down.
➢ Don not say “yes” or “no” to them
➢ Don not misunderstand them.
 ➢ Do not call them “demands.” Once you agree to some of these demands, the hostage
taker might ask for another and you may not be able to give it to them
➢ Listen to anything and do not give anything away.
➢ Do not make any offer
➢ Do not make offers outside your control. You may not be able to fulfill this and it will
destroy the rapport you have built up.
➢ Do not dismiss demands as trivial, who knows this might the key to your success.
➢ Do not resurrect forgotten demands.

PNP Procedures in a Hostage Situation:

1. Activate a Critical Incident Management Committee
2. Secure and isolate the incident scene
3. ensure control of communication lines and simultaneously ensure that all other lines
are cut off, along with electricity and water supply to allow for maximum bargaining
4. Bar unauthorized persons from entering and exiting the incident scene
5. Record the witnesses’ names, addressed, and other information
6. direct the witness to a safe location
7. evacuate all victims/injured persons immediately when the opportunity permits
8. ensure that the arrest of the perpetrator shall be the last paramount concern
9. Conduct debriefing immediately after the conclusion of the incident.